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open access bibliography This work has been published as a printed book by: Association of Research Libraries 21 Dupont Circle, NW, Suite 800 Washington, D.C. 20036 ISBN 1-59407-670-7 ISBN 978-1-59407-670-1 It can be ordered from: ARL Publications Distribution Center PO Box 531 Annapolis Junction, MD 20701-0531 Phone: 301-362-8196 Fax: 301-206-9789 Orders: [email protected] http://www.arl.org/pubscat/pubs/openaccess/ http://www.arl.org/pubscat/index.html Open Access Bibliography Liberating Scholarly Literature with E-Prints and Open Access Journals Charles W. Bailey, Jr. Association of Research Libraries 2005 Association of Research Libraries 21 Dupont Circle, NW, Suite 800 Washington, D.C. 20036 © 2005 Charles W. Bailey, Jr. This work is licensed under the Creative Commons Attribution-NonCommercial License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc/2.0/ or send a letter to Creative Commons, 559 Nathan Abbott Way, Stanford, California 94305, USA. ISBN 1-59407-670-7 ISBN 978-1-59407-670-1 The paper used in this publication meets the requirements of ANSI/NISO Z39.48-1992 (R1997) Permanence of Paper for Publications and Documents in Libraries and Archives. Design and layout by David S. Noble. contents preface xi acknowledgments xv key open access concepts xvi i. general works 3 1.1 Overviews 3 1.2 Analysis and Critiques 6 1.3 Debates and Dialogs 10 1.3.1 Nature Web Debate on Future E-Access to the Primary Literature 10 1.3.2 Nature Web Focus on Access to the Literature: The Debate Continues 13 1.3.3 Other 15 1.4 Research Studies 15 1.5 Other 16 ii. open access statements 20 2.1 Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities 20 2.2 Bethesda Statement on Open Access 20 2.3 Budapest Open Access Initiative 20 2.4 NEAR 21 2.5 OECD Final Communique 22 2.6 Tempe Principles 22 2.7 Washington D.C. Principles for Free Access to Science 23 2.8 Wellcome Trust Position Statement and Research Reports 23 2.9 World Summit on the Information Society Declaration of Principles and Plan of Action 24 2.10 Other 25 iii. copyright arrangements for self-archiving and use 27 3.1 General Works 27 3.2 Copyright Ownership and Rights 28 3.3 Creative Commons 30 3.4 Permissions Crisis 31 3.5 Research Studies 32 iv. open access journals 33 4.1 General Works 33 4.2 Economic Issues 35 4.2.1 General Works 35 4.2.2 BMJ Rapid Responses about “Author Pays” May Be the New Science Publishing Model 40 4.3 Open Access Journal Change Agents 40 4.3.1 SPARC 40 4.4 Open Access Journal Publishers and Distributors 42 4.4.1 BioMed Central 42 4.4.2 Public Library of Science 44 4.4.3 PubMed Central 47 4.4.3.1 General Works 47 4.4.3.2 Science Magazine dEbate on “Building a GenBank of the Published Literature” 50 4.4.3.3 Science Magazine dEbate on “Is a Government Archive the Best Option?” 50 4.4.3.4 Science Magazine dEbate on “Just a Minute, Please” 51 4.4.3.5 Other 51 4.5 Specifi c Open Access Journals 53 4.5.1 Journals in the Directory of Open Access Journals 53 4.5.2 Pioneering Free E-Journals Not in the DOAJ 55 4.5.3 Other 56 4.6 Research Studies 57 v. e-prints 59 5.1 General Works 59 5.2 History 61 5.3 Research Studies 61 vi. disciplinary archives 63 6.1 General Works 63 6.2 Specifi c Archives and Projects 63 6.2.1 arXiv 63 6.2.2 NASA Astrophysics Data System 64 6.2.3 RePEc 65 6.2.4 Other 66 vii. institutional archives and repositories 68 7.1 General Works 68 7.2 E-Print Archives 68 7.2.1 General Works 68 7.2.2 Specifi c Archives and Projects 69 7.2.2.1 ePrints-UK 69 7.2.2.2 SHERPA 69 7.2.2.3 Other 69 7.3 Repositories with Diverse Materials 70 7.3.1 General Works 70 7.3.2 Specifi c Repositories and Projects 72 7.3.2.1 DAEDALUS 72 7.3.2.2 DSpace 72 7.3.2.3 eScholarship 74 7.3.2.4 Fedora 75 7.3.2.5 OSU Knowledge Bank 76 7.3.2.6 Other 76 7.4 Electronic Theses and Dissertations 77 viii. open archives initiative and oai-pmh 78 8.1 General Works 78 8.2 Specifi c Data or Service Providers and Projects 81 8.2.1 AmericanSouth.org 81 8.2.2 Arc 81 8.2.3 Kepler 82 8.2.4 OAIster 82 8.2.5 OpCit 82 8.2.6 Open Archives Forum 83 8.2.7 Open Archives Initiative Metadata Harvesting Project 85 8.2.8 Other 85 8.3 Research Studies 90 ix. conventional publisher perspectives 91 x. government inquiries and legislation 94 10.1 European Commission Study 94 10.2 Sabo Bill 94 10.3 U.K. House of Commons Science and Technology Committee Inquiry 95 10.4 U.S. House Appropriations Committee Recommendations 100 10.5 Other 101 xi. open access arrangements for developing countries 102 11.1 General Works 102 11.2 Free or Reduced Cost Access 103 11.2.1 AGORA 103 11.2.2 HINARI 103 11.2.3 Other 104 11.3 SciELO 106 about the author 107 preface Scope of the Bibliography The Open Access Bibliography: Liberating Scholarly Literature with E-Prints and Open Access Journals presents over 1,300 selected English-language books, conference papers (including some digital video presentations), debates, editorials, e-prints, journal and magazine articles, news articles, technical reports, and other printed and electronic sources that are useful in understanding the open access movement’s efforts to provide free access to and unfettered use of scholarly literature. Most sources have been published between 1999 and August 31, 2004; however, a limited number of key sources published prior to 1999 are also included. Where possible, links are provided to sources that are freely available on the Internet (approximately 78 percent of the bibliography’s references have such links). There are various defi nitions of “open access.” The scope of this bibliography is deter- mined by the “Budapest Open Access Initiative” defi nition: The literature that should be freely accessible online is that which scholars give to the world without expectation of payment. Primarily, this category encompasses their peer-reviewed journal articles, but it also includes any unreviewed preprints that they might wish to put online for comment or to alert colleagues to important research fi ndings. There are many degrees and kinds of wider and easier access to this literature. By “open access” to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without fi nancial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited. To achieve open access to scholarly journal literature, we recommend two complementary strategies. I. Self-Archiving: First, scholars need the tools and assistance to deposit their refereed journal articles in open electronic archives, a practice commonly called, self-archiving. When these archives conform to standards created by the Open Archives Initiative, then search engines and other tools can treat the separate archives as one. Users then need not know which archives exist or where they are located in order to fi nd and make use of their contents. xii | OPEN ACCESS BIBLIOGRAPHY II. Open-access Journals: Second, scholars need the means to launch a new generation of journals committed to open access, and to help existing journals that elect to make the transition to open access. Because journal articles should be disseminated as widely as possible, these new journals will no longer invoke copyright to restrict access to and use of the material they publish. Instead they will use copyright and other tools to ensure permanent open access to all the articles they publish. Because price is a barrier to access, these new journals will not charge subscription or access fees, and will turn to other methods for covering their expenses.1 The open access movement exists in the broader context of a complex scholarly publishing system. It is widely believed by academic librarians and others that this system is in a state of crisis due primarily to the increasing cost of scholarly journals far in excess of infl ation, the proliferation of new journals that are ever more specialized, the failure of library budgets to keep up with these cost and journal proliferation factors, and the resultant increasing restriction of access to journal literature as libraries cancel existing journals and fail to add new specialized ones. Although the open access movement will clearly have a very signifi cant impact on the library “serials crisis” if it succeeds, many of its primary advocates do not see the resolution of this crisis as its primary mission, but, rather, as a desirable potential side effect.